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Regulatory and Compliance
Regulatory and Compliance
Regulatory compliance covers the requirements for ensuring products and their associated materials comply with both external and internal rules and regulations. It covers regulatory and requirement...
 

 coso compliance sarbanes oxley


Sarbanes-Oxley Readiness with Microsoft Dynamics NAV
Organizations cannot achieve Sarbanes-Oxley compliance without the proper tools. But once these tools have been obtained, compliance becomes an opportunity for

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Regulatory and Compliance RFI/RFP Template

Design for Compliance, Management of Hazardous and Controlled Substances, Regulatory and Compliance Documentation, Managing Recyclables and Controlled Waste, Product Technology Get this template

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Regulatory and Compliance
Regulatory and Compliance
Regulatory compliance covers the requirements for ensuring products and their associated materials comply with both external and internal rules and regulations. It covers regulatory and requirement...

Documents related to » coso compliance sarbanes oxley

SOX Segregation of Duties Matrix


I'll get to the downloadable SOX segregation of duties matrix in a moment, but first let me address a question from one of our readers. Needless to say, I appreciate all feedback, including one recent comment regarding my article Segregation of Duties and Its Role in Sarbanes-Oxley Compliance Issues: Mr. Hankewicz mis-states Section 404 in his article "Segregation of Duties and Its

coso compliance sarbanes oxley  further information at the COSO and PCAOB web sites: http://www.coso.org/ http://www.pcaobus.org/ * SOX Segregation of Duties Matrix Download your SOX segregation of duties matrix here . Here's how it works: A fundamental element of internal control is the segregation of certain key duties. The basic idea underlying segregation of duties is that no employee or group should be in a position to commit systemic errors or fraud in the normal course of duties. In general, the principal incompatible duties to Read More

Segregation of Duties and Its Role in Sarbanes-Oxley Compliance Issues


The Sarbanes-Oxley Act (SOX) requires publicly traded firms to demonstrate that their accounting and reporting practices are in compliance with regulatory standards. Section 404 of SOX addresses the concept and practice of segregation of duties—a key aspect of this legislation, and the focus of this article.

coso compliance sarbanes oxley  compliance standards (e.g., COBIT, COSO). When organizations are in the process of selecting enterprise software applications (e.g., an ERP system), due diligence is advised as part of the request for proposal (RFP) process to ensure that the proposed vendor's solution adheres to known financial-reporting and compliance standards in its industry. When interfacing a new solution with a legacy application or with an internally developed in-house system, the COBIT and SOX models should be the fundamental Read More

The Challenges of Defining and Managing Governance, Risk Management, and Compliance


A broader, more structured approach is needed to effectively manage governance, risk management, and compliance (GRC). Enterprises will then be better able to guide their people, standardize their processes, and unify technology to embed GRC at all organizational levels.

coso compliance sarbanes oxley  Committee of Sponsoring Organizations (COSO), the IT Infrastructure Library (ITIL), or the Control Objectives for Information and Related Technologies (COBIT), and to US mandates like the Sarbanes-Oxley Act (SOX) and the Food and Drug Administration (FDA) regulations. The repository often also enables adherence to official product classification schemas such as the US Harmonized Tariff Schedule (HTS) and the Export Control Classification Number (ECCN), which is issued by the Bureau of Industry and Read More

Audit Considerations for Enterprise Software Implementations Part 2: Applying Controls and Audit Emphasis


Whether audit expertise is provided by an internal staff or an independent, outside agency, calling in an audit specialist is as normal as calling in a kicking specialist in a penalty or field goal situation in football. Particularly when you consider the majority of an enterprise software implementation is all about testing, the present of an auditor as a functioning member of the project team makes perfect and logical sense.

coso compliance sarbanes oxley  Financial Reporting (Treadway Commission). COSO has provided a standard definition of internal controls to assist organizations in achieving financial, operational, and compliance objectives of SOX. As illustrated by the model below, the COSO framework can, and should, be applied to project activities. The following sections provide examples of how internal controls and procedures can be instituted while the project is underway and carried forward in production. Hopefully, as the project manager and Read More

10 Steps to Continuous Compliance: Putting in Place an Enterprise-wide Compliance Strategy


Understanding the full scope of risk in today’s complex business environment is a must for achieving compliance with governmental mandates and industry regulations. However, many companies have a limited perception of risk and struggle to make compliance an enterprise-wide, integrated process. Compliance is no longer a one-time isolated project; it’s an ongoing effort—and you’re just tens steps away from discovering why.

coso compliance sarbanes oxley  Steps to Continuous Compliance: Putting in Place an Enterprise-wide Compliance Strategy 10 Steps to Continuous Compliance: Putting in Place an Enterprise-wide Compliance Strategy If you receive errors when attempting to view this white paper, please install the latest version of Adobe Reader. Founded in 2002 and based in San Jose, CA, LogLogic is an innovator and market leader in log management, compliance management and security management solutions designed to improve accountability and lower Read More

Top 5 HR Compliance Concerns for Small Business


Small and medium-sized companies can be so focused on core business issues that they overlook one of their most potentially serious and costly issues—human resource compliance. They often lack the time and resources to build infrastructure and processes that are beyond core business objectives. This paper discusses the top small business compliance concerns. 

coso compliance sarbanes oxley  5 HR Compliance Concerns for Small Business Small and medium-sized companies can be so focused on core business issues that they overlook one of their most potentially serious and costly issues—human resource compliance. They often lack the time and resources to build infrastructure and processes that are beyond core business objectives. This paper discusses the top small business compliance concerns. Read More

The Sunshine Act: Compliance in Expense Reporting


The Sunshine Act has prompted life science companies to look at alternatives to their expense reporting processes. The output to HHS is required to be electronic, searchable, and easily downloaded. A solution that supports these requirements from the initial input step of the process provides proactive control and management of the data—and of the direct marketing process as a whole.

coso compliance sarbanes oxley  Sunshine Act: Compliance in Expense Reporting The Sunshine Act has prompted life science companies to look at alternatives to their expense reporting processes. The output to HHS is required to be electronic, searchable, and easily downloaded. A solution that supports these requirements from the initial input step of the process provides proactive control and management of the data—and of the direct marketing process as a whole. Read More

GreenSky: A Solution for Aviation Emissions Reporting and Compliance to EU-ETS


‘GreenSky’ is an end-to-end Carbon Emissions Reporting and Compliance solution for Aviation that covers all aspects of the European Union’s mandate on the Emissions Trading System (EU ETS). With an integrated approach of automated monitoring, reporting, and pre-verification, the solution is a comprehensive framework that offers a rapid deployment methodology for airlines to achieve the most effective means of compliance.

coso compliance sarbanes oxley  A Solution for Aviation Emissions Reporting and Compliance to EU-ETS ‘GreenSky’ is an end-to-end Carbon Emissions Reporting and Compliance solution for Aviation that covers all aspects of the European Union’s mandate on the Emissions Trading System (EU ETS). With an integrated approach of automated monitoring, reporting, and pre-verification, the solution is a comprehensive framework that offers a rapid deployment methodology for airlines to achieve the most effective means of compliance. Read More

Compliance: Is Remote Office Data Your Achilles Heel?


Would spending millions of dollars and countless hours securing your data center be enough for it to pass a compliance audit? While many businesses work hard at securing their data centers, they often forget to secure remote office data. With the consequences of non-compliance ranging from financial penalties to job loss and worse, it could mean the end of your business. Don’t let compliance become your Achilles heel.

coso compliance sarbanes oxley  Is Remote Office Data Your Achilles Heel? Would spending millions of dollars and countless hours securing your data center be enough for it to pass a compliance audit? While many businesses work hard at securing their data centers, they often forget to secure remote office data. With the consequences of non-compliance ranging from financial penalties to job loss and worse, it could mean the end of your business. Don’t let compliance become your Achilles heel. Read More

Cigna Finds Good Therapy: Building a More Efficient Risk Management, Compliance, and System Security Program


As a provider of employee benefits, CIGNA must observe a bevy of regulatory compliance mandates. Because much of its efforts are compliance-focused, it continually embraces technology, searching for new products to better manage its benefit offerings and track its security risks. With QualysGuard’s vulnerability management solution, CIGNA has mitigated vulnerabilities and remained up-to-date with compliance regulations.

coso compliance sarbanes oxley  Finds Good Therapy: Building a More Efficient Risk Management, Compliance, and System Security Program As a provider of employee benefits, CIGNA must observe a bevy of regulatory compliance mandates. Because much of its efforts are compliance-focused, it continually embraces technology, searching for new products to better manage its benefit offerings and track its security risks. With QualysGuard’s vulnerability management solution, CIGNA has mitigated vulnerabilities and remained up-to-date with Read More

Leverage Your Financial System to Enable Sarbanes-Oxley Compliance: An Evaluator’s Guide


When it comes to US Sarbanes-Oxley Act (SOX) compliance, the role of financial information systems simply cannot be overlooked. This was recently underscored by a study naming "financial systems and procedures" as the most common problem among companies disclosing material weaknesses. Indeed, this weakness has prompted organizations to take a deeper look at their business processes—and underlying financial systems.

coso compliance sarbanes oxley   Read More

Data Storage Encryption for Enabling PCI Compliance


Compliance with the Payment Card Industry Data Security Standard (PCI DSS) is mandatory. As such, businesses must think seriously about their data storage security and the day-to-day encryption management of their customer data. As a merchant or credit card processor, will you be ready when the auditors come knocking? Learn more about the foolproof way that many businesses are passing PCI DSS audits.

coso compliance sarbanes oxley  Storage Encryption for Enabling PCI Compliance Compliance with the Payment Card Industry Data Security Standard (PCI DSS) is mandatory. As such, businesses must think seriously about their data storage security and the day-to-day encryption management of their customer data. As a merchant or credit card processor, will you be ready when the auditors come knocking? Learn more about the foolproof way that many businesses are passing PCI DSS audits. Read More

Proactive IT Triage for Sarbanes-Oxley Compliance


When it comes to Sarbanes-Oxley compliance, most IT organizations do not lack measurement data—in fact, they’re buried in it! What they need are effective ways to put these measurements into the context of critical business services, establish baselines for every layer of every component, and proactively communicate which layer of which component is the root cause of any abnormality.

coso compliance sarbanes oxley  IT Triage for Sarbanes-Oxley Compliance When it comes to Sarbanes-Oxley compliance, most IT organizations do not lack measurement data—in fact, they’re buried in it! What they need are effective ways to put these measurements into the context of critical business services, establish baselines for every layer of every component, and proactively communicate which layer of which component is the root cause of any abnormality. Read More

Important Sarbanes-Oxley Act Mandates and What They Mean for Supply Chain Management


Two sections of the Sarbanes-Oxley Act (SOX) have major implications for supply chain management. Yet enterprises can meet the challenges created by SOX more easily by using software tools developed to simplify the processes for compliance with this law.

coso compliance sarbanes oxley  Sarbanes-Oxley Act Mandates and What They Mean for Supply Chain Management SCM-related Mandates: Sections 404 and 401 More and more, enterprises are realizing the importance of adopting a holistic approach to their businesses from top down, and are beginning to harness an emerging strategic software category— governance, risk management, and compliance (GRC). To this end, their attention so far has been greatly focused on ensuring compliance with the US Sarbanes-Oxley Act (SOX). Chief financial Read More